Anthony @ Equity Investigations, Dear Anthony, Message Board

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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony,

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To: Mama Bear who wrote (1071)	12/18/1998 8:21:00 PM
From: rogermci®	Read Replies (2) of 122087

Barb....I am what they call an unregistered Investment Advisor because I have fewer than 15 clients. However, in no way can I hold myself out to the public as an investment advisor, money manager, financial planner etc. I went through all of this 8 years ago and don't remember specifics, but it is covered by a 1940 Securities Act which defines what an investment advisor is. From what I've seen of our friend, he is clearly in violation of the law. Now you can argue definition of investment advisor and whether he is bound by this Act, but the front running he does is definitely a no no even if he discloses such. And I'm talking specifically about his buying a $3 number at 9:30, EMailing it to members at 10:00 and than blabbing publicly on the net at 10:30 in the meantime selling and lining his pockets. Turned $22,000 into $1.2 million in one year. Impossible unless your scamming. roger

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